thesis advisor meaning

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Choosing a Thesis Advisor: A Complete Guide

One of the most important choices that you will make about your dissertation or thesis happens before you write a single word. Choosing a thesis advisor or dissertation advisor (often referred to as a dissertation chair) will have a significant impact on your entire dissertation writing experience, and for many years to come. For many doctoral students, their thesis advisor is their single greatest influence in graduate school. 

Selecting a thesis advisor is a big decision with far-reaching implications. The stakes are very high, and it is imperative to choose your thesis advisor wisely. There are many factors to consider when choosing a thesis advisor, from expertise to personality, and it pays to think carefully and weigh your options before approaching a faculty member to chair your dissertation committee . While there are subtle differences between a dissertation chair and a thesis advisor, we’ll focus on the commonalities in this article.

These are commonly asked questions about selecting a thesis advisor: 

• What does a thesis advisor do? 
• How should I choose my thesis advisor?
• What makes a faculty member a good thesis advisor? 
• What if it doesn’t work out with my thesis advisor? 

Thesis Advisor Responsibilities

While writing a dissertation is a largely solitary pursuit, a good thesis advisor will be with you every step of the way. While you are very much in the driver’s seat, it is your thesis advisor’s job to keep you off the guardrails. And deploy the airbag, if necessary. There are a few purposes that your thesis advisor will serve during your time together. 

Guidance . While the dissertation process is new to you, your thesis advisor will know it very well. She will help you navigate the obstacles and pitfalls that have derailed many projects–department politics, university regulations, funding, research opportunities, etc. Your thesis advisor will also serve as a sounding board as you distill the nebulous concept of your research project into a fully-formed idea that you can move forward with. 

Organization . A good thesis advisor will run a tight ship and keep your dissertation project moving like clockwork. As a researcher, it’s very easy to get lost in the minutiae of the literature, and it’s not difficult to find yourself trapped down a rabbit hole of scholarship. Regular milestones set by your thesis advisor are a great way to stay on track and maintain forward momentum. 

Mentorship. While an effective thesis advisor will ensure that you see your project to fruition, a great one will be with you for decades. Though I graduated with my Ph.D. in 2012 and I’m now an associate professor myself, my thesis advisor remains a guiding light in my career. Your thesis advisor can be a cornerstone of your professional network. 

Choosing a Thesis Advisor

So, how do you select a faculty member to chair your dissertation committee? With extreme care. Once you have set your sights on a dissertation chair or thesis advisor, the next step is the Big Ask. I remember being very nervous to approach the faculty member who became my chair– it seemed like such an imposition, but, as a grad student in her department, I was already on her radar. Keep in mind, your faculty members are expecting to be asked to chair dissertation committees, and they may even be a little flattered that you chose them. 

While chairing and serving on dissertation committees is a requirement for the tenured and senior faculty members in your department, it’s a lot of work. Make no mistake: accepting the role of your dissertation chair makes them nervous, too. As a faculty member, I can say with absolute certainty that a good dissertation chair will be almost as invested in your dissertation as you are. 

What Makes a Strong Thesis Advisor?

There exists a gulf between what many students desire in a dissertation chair or thesis advisor and what they actually need. While there may be a temptation to approach one of your department’s superstar faculty members to chair your committee, this may not serve you in the long term. Faculty members who have made a name for themselves through an abundance of publications, grants, awards, and conference appearances typically have jam-packed schedules, and it may be difficult for them to make you and your dissertation a priority. 

A safer bet that is likely to have a more rewarding outcome is to work with a faculty member who has already shown enthusiasm for your work. Select a thesis advisor who makes time for you, and one who always responds to your emails. This is the person you want in your corner during the sometimes stressful journey of researching and writing a dissertation. Also, it never hurts to spend some time talking to potential dissertation chairs or dissertation advisors. Get all of your questions answered, and then make a decision. 

What If It Doesn’t Work Out?

The possibility that your thesis advisor is a bad fit for your project or is incompatible for some other reason is a worst-case scenario that lurks in the furthest reaches of every graduate student’s mind. There’s no way to sugarcoat it: this is not a good situation to be in, and it can derail dissertations. The soundest strategy for dealing with an internecine conflict with your thesis advisor is prevention. 

This is why it is vital to do your homework and put a lot of thought into choosing your thesis advisor. Find someone you are compatible with and make sure you’re on the same page. Check in with them regularly, and keep them updated. Clear communication is a great way to ensure a solid partnership with your dissertation chair. Don’t forget, your dissertation chair should also be making your success a priority. You should be comfortable enough to ask questions and let them know what’s on your mind. 

The good news is that a bad fit isn’t likely to happen. Most grad students have a completely workable relationship with their dissertation chairs, and for many it turns into a long friendship built on mutual respect and admiration. Personally, every time I serve on a doctoral student’s dissertation committee, I feel a tremendous amount of pride and satisfaction when they take their place in the academic world. It’s truly an honor to help them achieve such a major milestone in their academic career, and I’m delighted to be part of it. 

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Courtney Watson, Ph.D.

Courtney Watson, Ph.D. is an Associate Professor of English at Radford University Carilion, in Roanoke, Virginia. Her areas of expertise include undergraduate and graduate curriculum development for writing courses in the health sciences and American literature with a focus on literary travel, tourism, and heritage economies. Her writing and academic scholarship has been widely published in places that include  Studies in American Culture ,  Dialogue , and  The Virginia Quarterly Review . Her research on the integration of humanities into STEM education will be published by Routledge in an upcoming collection. Dr. Watson has also been nominated by the State Council for Higher Education of Virginia’s Outstanding Faculty Rising Star Award, and she is a past winner of the National Society of Arts & Letters Regional Short Story Prize, as well as institutional awards for scholarly research and excellence in teaching. Throughout her career in higher education, Dr. Watson has served in faculty governance and administration as a frequent committee chair and program chair. As a higher education consultant, she has served as a subject matter expert, an evaluator, and a contributor to white papers exploring program development, enrollment research, and educational mergers and acquisitions.

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Advising guide for research students.

Success as a graduate student is a shared responsibility between students and faculty. For research students, the relationship with your research advisor, also known as your special committee chair, is extremely important. 

Your responsibility to identify and choose an advisor is one of the most critical tasks you have early in your graduate school career. It’s an opportunity to meet and get to know faculty in your field, to assess your needs for support and supervision, and to collaboratively define your goals, values, and strategic plan for your academic and professional career.

Graduate School Requirement

At Cornell, the faculty advisor in research degree programs is referred to as the special committee chair.

Doctoral students have a special committee of at least three Cornell faculty, which includes the special committee chair and two minor committee members.

Master’s students have a special committee of at least two Cornell faculty, which includes the special committee chair and one minor member.

For both doctoral and master’s degree students, the special committee chair must be a graduate faculty member in the student’s own field.

Definition of an Advisor

Advising  and  mentoring  are often used interchangeably, but understanding the distinctions is important as you choose an advisor.

Advisor Responsibilities

• Guides you in meeting the requirements and expectations for your degree
• Required coursework
• Exams required by the graduate field or the Graduate School
• Research proposal/prospectus
• Research project
• Thesis or dissertation
• Writes informed letters of recommendation for your job applications
• May be a valued colleague or collaborator after you graduate

Mentor Responsibilities

• Provides support and guidance that extends beyond scope of advising
• Demystifies the structure, culture, and unstated expectations of graduate education
• Expands your professional network by introducing you to others
• Provides nominations for awards or other recognitions
• Brings job opportunities to your attention and writes letters of recommendation as you apply for jobs
• Advocates for you within the graduate program and discipline
• May serve as a role model and source of inspiration
• May become a colleague and peer in your discipline and may continue serving a mentoring role

Finding an Advisor

When do i select my first advisor.

At Cornell, the process for obtaining your first advisor varies by field.

Your faculty advisor may be assigned prior to your arrival or you may begin your program with a faculty member you met during the application process.

In some graduate fields, the faculty director of graduate studies (DGS) advises all incoming students. This provides you with time to get to know faculty in your field. By the end of the first semester or year (varying by field), it’s expected that you will have identified your own, long-term advisor. 

In fields where students apply to study with a specific faculty member (rather than do rotations and choose a lab or research group and advisor), you will have chosen an advisor prior to arriving on campus.

You can begin initial conversations about expectations and the advising relationship with your new advisor prior to the start of your program via email.

Start your graduate study and research with clear expectations and thoughtful communication about your plans for an effective advising relationship and success in graduate school.

How do I find an advisor? 

Meet and get to know faculty in your courses and in graduate field seminars and other events.

Talk to advanced students about their experiences and perceptions of the faculty in your programs and ask questions about possible advisors:

• How would you describe their approach to advising?
• What can you tell me about their work style?
• What can you tell me about their research interests?
• How good are their communication skills?
• How clear are their expectations for their graduate students?
• Do they use timeliness in reviewing their students’ writing and their approach to giving feedback?
• How available are they to meet with their graduate students?

After you have gathered information, make an appointment to meet with a potential advisor.

Possible Questions

• Is there a typical timeline you encourage your students to follow in completing their degree programs?
• How often do you meet with your students at different stages of their graduate program? (For example, during coursework, research, and writing stages)
• What are your expectations for students to make conference presentations and submit publications?
• What are your authorship policies? (This is especially relevant in fields where there is collaborative research and publishing involving the student and advisor or a group of students, postdocs, and faculty.)
• How soon should I identify my research project?
• How do you describe the degree of guidance and supervision you provide with regards to your students becoming more independent in their research and scholarship?
• If you are joining a lab or research group: What are the sources of funding for this research? Are there any new or pending research grants?
• How many of your students seek, and secure, external funding? What are your expectations for students to apply for external fellowships?
• Do you have a statement of advising you can share that lists our respective responsibilities and clarifies mutual expectations?
• What’s your advice on how students can manage what they find to be the biggest challenges in their graduate program?

Add other questions to your list based on your own needs and specifics of your program, such as questions about specialized equipment, lab safety, travel to field sites, support and accommodations for special health needs, communication during a faculty member’s sabbatical, funding in fields where there are fewer fellowships and research grants, etc.

Getting Other Mentoring Needs Met

How do i find other mentor(s) .

You may find one faculty member who can serve as both advisor and mentor, but that’s not always the case.

Consider identifying and cultivating additional mentors if that is the case. 

Suggestions on where to look for a mentor:

• The minor members of your special committee
• A faculty member who is not on your committee, and perhaps not even in your graduate field
• Peers and postdoctoral fellows who have knowledge and experience in pertinent issues

No one mentor can meet all your needs.

Good mentors have many protégés and many other demands on their time, such as teaching, research, and university or professional service. They also may not have all the expertise you need, for example, if you decide to search for jobs in multiple employment sectors.

Develop a broad network of mentors whose expertise varies and who provide different functions based on your changing needs as you progress from new student to independent scholar and researcher.

NCFDD offers a webinar, “ Cultivating Your Network of Mentors, Sponsors, and Collaborators “, which students can view after activating a free NCFDD membership through Cornell.

Maximizing the Advising Relationship

A successful relationship with your advisor depends on several different factors and varies with needs and working styles of the individuals. Some of these factors are under your control. But some are not. 

Suggestions for Building a Successful Advising Relationship

• Identify what you need from an advisor.
• Communicate clearly and frequently with your advisor to convey your questions, expectations, goals, challenges, and degree progress. Follow up verbal communication and meetings with an email detailing your understanding of what you both agreed to and next steps.
• Update your written academic plan each semester or whenever major changes or adjustments are needed.
• Consider including your plans to write competitive fellowship applications and co-authored grant proposals.
• Consider including  plans for professional development  that support your skill-building objectives and career goals.
• Recognize that you and your advisor have distinct perspectives, backgrounds, and interests. Share yours. Listen to your advisor’s. There is mutual benefit to sharing and learning from this diversity.
• Work with your advisor to define a regular meeting schedule. Prepare and send written materials in advance of each meeting. These could include: your questions, academic and research plan and timeline, and drafts of current writing projects, such as fellowship applications, manuscripts, or thesis/dissertation chapters.
• Be prepared to negotiate, show flexibility, and compromise, as is important for any successful relationship.
• Be as candid as you are comfortable with about your challenges and concerns. Seek guidance about campus and other resources that can help you manage and address any obstacles.
• Reach out to others for advice. Anticipate challenges and obstacles in your graduate degree program and their impact on the advising relationship.

Be proactive in finding resources and gathering information that can help you and your advisor arrive at solutions to any problems and optimize your time together.

Making Use of Meetings

First meetings.

Your first meeting sets the tone for a productive, satisfying, and enduring relationship with your advisor. Your first meeting is an opportunity to discuss expectations and to review a working draft of your academic plan.

Questions to ask about expectations

• What do your most successful students do to complete their degree on time?
• How often do you want us to meet?
• May I send you questions via email, or do you prefer I just come to your office?
• Would you like weekly (biweekly? monthly?) updates on my research progress?
• Do you prefer reviewing the complete draft of a manuscript or may I send you sections for feedback?
• After each meeting, I’ll make a list of what we each agreed to do before our next meeting, to help me keep moving forward with my research. Would you like a copy of that list, too, via email?

Draft Academic Plan

Prepare and bring a draft plan that outlines your “big picture” plans for your coursework, research, and writing, as well as an anticipated graduation date. (Or, email in advance with a message, such as, “I’m looking forward to meeting with you on [date] at [time], [location]. In advance, I’m sending a copy of my academic plan and proposed schedule for our discussion.”)

Contents of the plan

• Include the requirements and deadlines of your degree program. (This is information you should be able to find online or in your program’s graduate student handbook.)
• Include a general timeline indicating when you plan to meet requirements for courses or seminars, any required papers (such as a second-year paper), exams required by the graduate field (such as the Q exam) or by the Graduate School (the A exam and the B exam for research degree students).
• If your graduate field has a specific set of required courses, indicate the semester you may complete each of them, and be open to suggestions from your advisor.
• If your field does not have required courses, have some idea about the courses you are interested in taking and solicit input and suggestions from your faculty advisor.

Subsequent Meetings

Use each subsequent meeting as an opportunity to update your written academic plan and stay on track to complete your required papers and exams, your research proposal or prospectus, and the chapters or articles that comprise your thesis or dissertation.

In later meetings, you can elaborate on your general initial plan:

• Adding specific coursework or seminars
• Add professional development opportunities that interest you (workshops, dissertation writing boot camp, Summer Success Symposium, Colman Leadership Program, etc.)
• Include intentions to participate in external conferences and travel to research sites
• Identify a semester or summer when you would like to complete an internship.

Your written plan is also important to document what your advisor has agreed to, especially when the deadline to submit a manuscript or your thesis is looming and you are awaiting feedback or approval from your advisor. Use a combination of oral and written communications to stay in touch with your advisor, establish common expectations, and mark your progress toward degree completion.

Meeting Frequency

The frequency of meetings between advisors and advisees varies by field and individual. Assess your own needs and understand your advisor’s expectations for frequency of communication (in person and via email).

• Does your advisor like to provide guidance each step of the way so that he or she is aware of the details of everything you are doing?
• Does your advisor want you to launch your work more independently and report back at pre-determined or regular intervals?
• What do you need to be productive? Are you ready to work more independently?

Be proactive in seeking information. Explicitly ask how often your advisor usually meets with new students and how the advisor prefers to be updated on your progress in between meetings. Ask your peers how frequently they meet with their advisor and whether this has changed over time.

There will be disciplinary differences in meeting frequency.

• In humanities and in some social sciences, where library, archive, and field research take students away from campus, maintaining regular communication is essential, including through scheduled meetings, whether in-person or virtual.
• In life sciences and physical sciences and engineering, students often see their advisors daily in the lab or meet as a research group about externally funded projects; these regular check-ins and conversations may replace formal meetings. Make sure that you are also scheduling one-on-one times to talk about your broader goals and academic and career planning progress, however.

Some of your decisions about meeting frequency will be informed by talking to others, but much of it you learn through experience working together with your advisor. Even this will  change over time  as you become a more independent researcher and scholar. Communicate with your advisor regularly about your changing needs and expectations at each stage of your graduate career.

Resolving Conflict

In any relationship, there can be conflict. And, in the advisor-advisee relationship, the power dynamic created by the supervision, evaluation and, in some cases, funding role of your advisor can make conflicts with your advisor seem especially high.

You have options, however, including:

• Code of Legislation of the Graduate Faculty
• Campus Code of Conduct
• Policy on Academic Misconduct
• Research Misconduct
• Graduate School Grievance Policy
• Intellectual Property policies
• Graduate Student Assistantships (Policy 1.3)
• Talking with your advisor to clarify any miscommunication. Cornell University’s Office of the Ombudsman , one of the offices on campus that offers confidentiality, can also assist you by talking through the issue and helping you gather information you need before you speak directly with your advisor.
• Speaking with someone in the Graduate School, either the Associate Dean for Academics ( [email protected] ) for academic issues, or the Senior Assistant Dean for Graduate Student Life ( [email protected] ) for other issues. These deans will listen, offer advice and support, and coach you through any conversation you might want to have with your advisor. Together, you can brainstorm possible solutions and evaluate alternative plans for resolution.
• Touching base with your director of graduate studies (DGS) – if this person is not also your advisor – to talk to about policies and possible solutions to the conflict.
• Soliciting peer advice. Discuss strategies for managing and resolving conflict with your advisor. “Do you have any suggestions for me?” “Have you ever had an issue like this…?” can be effective questions.
• Identifying a new advisor if the conflict can not be resolved. Your DGS can help with this, and the Graduate School (as above) can help as well.

The National Center for Faculty Development and Diversity offers a webinar, “ How to Engage in Healthy Conflict “, which students can view after activating a free NCFDD membership through Cornell.

Changing Advisors

On occasion, students find that they need or want to change their advisor. An advisor can resign as the student’s special committee chair/faculty advisor. The  Code  of Legislation of the Graduate Faculty describes the rights and responsibilities of students and faculty in each of these situations.

Typical reasons to seek a new advisor include:

• Research interests that veer from the faculty’s expertise or ability to fund a certain project
• Your advisor retires or resigns from the university or takes an extended leave of absence for personal or professional reasons
• Differences in goals, values, or an approach to work or communication style that can’t be resolved
• Serious issues, involving suspected inappropriate behavior, questionable research conduct, or alleged bias, discrimination, or harassment

If you are considering changing advisors:

• Talk to a member of your committee, your director of graduate studies (DGS), or someone in the Graduate School about the proposed change. Some issues, such as funding, require timely attention.
• Identify other faculty members who could serve as your advisor, then meet with one or more of them. The goal is to decide together if you are a good fit with their program. Tips: Discuss or rehearse this conversation with a trusted person, especially if there were issues with your last advisor. Be transparent about these issues and address them going forward with a new advisor. Often prospective advisors are more willing to take on a new graduate student who conveys genuine enthusiasm for their area of study rather than a student who seems to be looking for a way out of a current advising relationship that has gone sour.
• Consider how and when to inform your advisor if you plan to change advisors. Be professional and respectful. Thank your advisor for past support and guidance. Don’t damage, or further damage, the relationship.
• Your DGS, if appropriate
• Office of the University Ombudsman
• Graduate School’s Senior Assistant Dean for Graduate Student Life ( [email protected] )
• Graduate School’s Associate Dean for Academics ( [email protected] )

Forms: 

• Use Student Center if you are changing your advisor before your A exam (for Ph.D. students).
• Use the Post A Committee Change Petition form for changes after the A exam. More information is available on the Graduate School’s Policy pages .

Challenges and Potential Solutions

All good relationships take work. To navigate an advising relationship successfully over time, you should familiarize yourself with some common challenges and possible actions to take.

Challenge: Mismatch in communication needs or style

One example of a communication challenge in an advising relationship is when you want input along the way during a writing project, but you have an advisor who prefers to wait to comment on a complete written draft.

Some possible steps to address this might be to talk to peers about they have handled this in their relationship with their advisor or to explain to your advisor how his or her input at this earlier stage will help speed you along toward having a complete draft for review. It’s important in communicating with your advisor to show that you understand what alternative they are proposing and why (e.g., “I understand that …”).

Challenge: Advisor unavailable or away

Your advisor might be away from campus for a semester or more to conduct research or take a sabbatical leave. Or when a grant proposal deadline or report is looming, your advisor might be less available. Maybe you’ve emailed your advisor several times with no response.

Planning and stating in advance what you need, such as feedback on a manuscript draft or signatures on a fellowship application, can help your advisor anticipate when you will have time-sensitive requests. Making plans in advance to communicate by email or video conference when either of you will be away from campus for a longer period of time is another useful strategy. Your director of graduate studies (DGS) and other faculty who serve as special committee members can also provide advice when your advisor is unavailable.

Challenge: Misaligned expectations

You are ready to submit a manuscript for publication. Your advisor says it needs much more work. Or you begin your job search, applying to liberal arts colleges with very high reputations, or schools in your preferred geographic location, but your advisor insists that you should apply for positions at top research universities.

Discussing your needs and expectations early, and often, in the advising relationship is essential. Get comfortable, and skilled, advocating for yourself with your advisor. Use the annual  Student Progress Review  as an opportunity to communicate your professional interests and goals with your advisor. Use multiple mentors beyond your advisor to get advice and expertise on topics where you need a different perspective or support.

Sometimes challenges can become opportunities for you to develop and refine new skills in communication, negotiation, self-advocacy, and management of conflict, time, and resources. For example, although you might feel abandoned if your advisor is unavailable for a time, even this potentially negative experience could become an opportunity to learn how to advocate for yourself and communicate about your needs and perceived difficulties in the relationship.

Advising Resources

Graduate School deans and directors  are available to answer academic and non-academic questions and provide referrals to useful resources.

Counseling and Psychological Services  (CAPS) staff offer confidential, professional support for students seeking help with stress, anxiety, depression, grief, adjustment challenges, relationship difficulties, questions about identity, and managing existing mental health conditions.

Let’s Talk Drop-in Consultations  are informal, confidential walk-in consultations at various locations around campus.

External Resources

University of Michigan Rackham, How to Get the Mentoring You Want  

Laura Gail Lunsford & Vicki L. Baker, 2016, Great Mentoring in Graduate School: A Quick Start Guide for Protégés

Michigan State University, Guidelines for Graduate Student Advising and Mentoring Relationships  

Michigan State University, Graduate Student Career and Professional Development  

Template for Meeting Notes

Adapted and expanded from Maria Gardiner, Flinders University © Flinders University 2007; used with permission and published in  The Productive Graduate Student Writer  (Allen, 2019). Used here with permission of the author and publisher.  

Use this template for making notes to help you plan for a productive meeting with your advisor, keep track of plans made, and clearly identify next steps that you’ll need to take to follow up on what you discussed.

Mentoring Resources

Graduate school programs focused on mentoring, building mentoring skills for an academic career.

Develop and enhance effective communication and mentorship skills that are broadly transferrable to all careers. Offered by Future Faculty and Academic Careers.

Graduate and Professional Students International (GPSI) Peer Mentoring Program

Share lessons learned as a new international student at Cornell as a peer mentor with new international student peer mentees. Offered by the GPSI in collaboration with the Graduate School Office of Inclusion and Student Engagement.

Graduate Students Mentoring Undergraduates (GSMU)

Share knowledge with and provide support to undergraduate students interested in pursuing further education. Offered in collaboration with the Office of Academic Diversity Initiatives (OADI).

Multicultural Academic Council (MAC) Peer Mentoring Program

Develop strategies to excel academically and personally at Cornell and beyond as a peer mentee or share strategies as a peer mentor. Offered by MAC in collaboration with the Graduate School Office of Inclusion and Student Engagement.

NextGen Professors Program

Learn from faculty in Power Mentoring Sessions and prepare for careers across institutional types. Offered by the Graduate School Office of Inclusion and Student Engagement and Future Faculty and Academic Careers.

Graduate School Programs with a Mentoring Component

Graduate school primer: navigating academia workshop series.

Program for new students on navigating graduate school with sessions on mentoring.

Perspectives: The Complete Graduate Student

Program for continuing students on common issues with some sessions on mentoring.

GPWomeN-PCCW Speaker Series

Series for all students featuring talks by Cornell alumnae with an occasional mentoring focus.

Future Professors Institute

One-day event featuring workshops and guest speakers with occasional mentoring focus.

Intergroup Dialogue Project (IDP)

Peer-led courses blending theory and experiential learning to facilitate meaningful communication with occasional mentoring focus.

Building Allyship Series

Series for the campus community featuring panels designed for productive dialogue with occasional mentoring focus.

Institutional Memberships

Center for the integration of research, teaching, and learning (cirtl) network.

Access to resources on teaching and research mentoring.

Access to career development and mentoring resources.

New York Academy of Sciences (NYAS)

Access to resources, including webinars and articles on mentoring.

Mentoring Programs Across Campus

Give and receive advice as part of a peer mentoring program for all College of Engineering students. Offered by Diversity Programs in Engineering.

Mi Comunidad/My Community

Peer mentoring program run by graduate and professional students affiliated with the Latin@ Graduate Student Coalition (LGSC) and supported by the Latina/o Studies Program (LSP) and Latina/o/x Student Success Office (LSSO) at Cornell University.

Additional Resources:

• Mentoring and Leadership Tips from Graduate School Programs
• Cornell University Office of Faculty Development and Diversity – Resources for Mentors and Mentees
• Careers Beyond Academia LibGuide
• National Research Mentoring Network

Graduate School Articles on Mentoring:

• Alumna Addresses Importance of Mentoring
• Becoming Better Mentors Through Workshop Series
• August Offers Mentoring Advice
• ‘A Better Chance of Providing Access’: Future Professors Institute Fosters Inclusivity

Virtual Training and External Resources

• How to Get the Mentoring You Want: A Guide for Graduate Students – University of Michigan, Rackham Graduate School
• The Science of Effective Mentorship in STEMM – National Academies of Sciences, Engineering, Medicine
• Mentor Training: Online Learning Modules – University of Minnesota Clinical and Translational Science Institute
• Mentor Curricula and Training: Entering Mentoring – Center for the Improvement of Mentored Experiences in Research

For other resources, view the Advising Guide for Research Students.

If there is anything not included on this list that we should consider, please send the information and a link to [email protected] .

Dissertation Advisor 101

How to get the most from the student-supervisor relationship

By: Derek Jansen (MBA) | Expert Reviewer: Dr Eunice Rautenbach | January 2024

Many students feel a little intimidated by the idea of having to work with a research advisor (or supervisor) to complete their dissertation or thesis. Similarly, many students struggle to “connect” with their advisor and feel that the relationship is somewhat strained or awkward. But this doesn’t need to be the case!

In this post, we’ll share five tried and tested tips to help you get the most from this relationship and pave the way for a smoother dissertation writing process.

Overview: Working With Your Advisor

• Clarify everyone’s roles on day one
• Establish (and stick to) a regular communication cycle
• Develop a clear project plan upfront
• Be proactive in engaging with problems
• Navigate conflict like a diplomat

1. Clarify roles on day one

Each university will have slightly different expectations, rules and norms in terms of the research advisor’s role. Similarly, each advisor will have their own unique way of doing things. So, it’s always a good idea to begin the engagement process by clearly defining the roles and expectations in your relationship.

In practical terms, we suggest that you initiate a conversation at the very start of the engagement to discuss your goals, their expectations, and how they would like to work with you. Of course, you might not like what you hear in this conversation. However, this sort of candid conversation will help you get on the same page as early as possible and set the stage for a successful partnership.

To help you get started, here are some questions that you might consider asking in your initial conversation:

• How often would you like to meet and for how long?
• What should I do to prepare for each meeting?
• What aspects of my work will you comment on (and what won’t you cover)?
• Which key decisions should I seek your approval for beforehand?
• What common mistakes should I try to avoid from the outset?
• How can I help make this partnership as effective as possible?
• My academic goals are… Do you have any suggestions at this stage to help me achieve this?

As you can see, these types of questions help you get a clear idea of how you’ll work together and how to get the most from the relatively limited face time you’ll have.

Need a helping hand?

2. Establish a regular communication cycle

Just like in any relationship, effective communication is crucial to making the student-supervisor relationship work. So, you should aim to establish a regular meeting schedule and stick to it. Don’t cancel or reschedule appointments with your advisor at short notice, or do anything that suggests you don’t value their time. Fragile egos are not uncommon in the academic world, so it’s important to clearly demonstrate that you value and respect your supervisor’s time and effort .

Practically speaking, be sure to prepare for each meeting with a clear agenda , including your progress, challenges, and any questions you have. Be open and honest in your communication, but most importantly, be receptive to your supervisor’s feedback . Ultimately, part of their role is to tell you when you’re missing the mark. So, don’t become upset or defensive when they criticise a specific aspect of your work.

Always remember that your research advisor is criticising your work, not you personally . It’s never easy to take negative feedback, but this is all part of the learning journey that takes place alongside the research journey.

3. Have a clear project plan

Few things will impress your supervisor more than a well-articulated, realistic plan of action (aka, a project plan). Investing the time to develop this shows that you take your project (and by extension, the relationship) seriously. It also helps your supervisor understand your intended timeline, which allows the two of you to better align your schedules .

In practical terms, you need to develop a project plan with achievable goals . A detailed Gantt chart can be a great way to do this. Importantly, you’ll need to break down your thesis or dissertation into a collection of practical, manageable steps , and set clear timelines and milestones for each. Once you’ve done that, you should regularly review and adjust this plan with your supervisor to ensure that you remain on track.

Of course, it’s unlikely that you’ll stick to your plan 100% of the time (there are always unexpected twists and turns in a research project. However, this plan will lay a foundation for effective collaboration between yourself and your supervisor. An imperfect plan beats no plan at all.

4. Engage with problems proactively

One surefire way to quickly annoy your advisor is to pester them every time you run into a problem in your dissertation or thesis. Unexpected challenges are par for the course when it comes to research – how you deal with them is what makes the difference.

When you encounter a problem, resist the urge to immediately send a panicked email to your supervisor – no matter how massive the issue may seem (at the time). Instead, take a step back and assess the situation as holistically as possible. Force yourself to sit with the issue for at least a few hours to ensure that you have a clear, accurate assessment of the issue at hand. In most cases, a little time, distance and deep breathing will reveal that the problem is not the existential threat it initially seemed to be.

When contacting your supervisor, you should ideally present both the problem and one or two potential solutions . The latter is the most important part here. In other words, you need to show that you’ve engaged with the issue and applied your mind to finding potential solutions. Granted, your solutions may miss the mark. However, providing some sort of solution beats impulsively throwing the problem at your supervisor and hoping that they’ll save the day.

Simply put, mishaps and mini-crises in your research journey present an opportunity to demonstrate your initiative and problem-solving skills – not a reason to lose your cool and outsource the problem to your supervisor.

5. Navigate conflict like a diplomat 

As with any partnership, there’s always the possibility of some level of disagreement or conflict arising within the student-supervisor relationship. Of course, you can drastically reduce the likelihood of this happening by implementing some of the points we mentioned earlier. Neverthless, if a serious disagreement does arise between you and your supervisor, it’s absolutely essential that you approach it with professionalism and respect . Never let it escalate into a shouting contest.

In practical terms, it’s important to communicate your concerns as they arise (don’t let things simmer for too long). Simultaneously, it’s essential that you remain open to understanding your supervisor’s perspective – don’t become entrenched in your position. After all, you are the less experienced researcher within this duo.

Keep in mind that a lot of context is lost in text-based communication , so it can often be a good idea to schedule a short call to discuss your concerns or points of contention, rather than sending a 3000-word email essay. When going this route, be sure to take the time to prepare a clear, cohesive argument beforehand – don’t just “thought vomit” on your supervisor.

In the event that you do have a significant disagreement with your advisor, remember that the goal is to find a solution that serves your project (not your ego). This often requires compromise and flexibility. A “win at all costs” mindset is definitely not suitable here. Ultimately, you need to solve the problem, while still maintaining the relationship .

If you feel that you have already exhausted all possible avenues and still can’t find an acceptable middle ground, you can of course reach out to your university to ask for their assistance. However, this should be the very last resort . Running to your university every time there’s a small disagreement will not serve you well.

Recap: Key Takeaways

To sum up, a fruitful student-supervisor relationship hinges on clear role definition , effective and regular communication , strategic planning , proactive engagement , and professional conflict resolution .

Remember, your dissertation supervisor is there to help you, but you still need to put in the work . In many cases, they’ll also be the first marker of your work, so it really pays to put in the effort and build a strong, functional relationship with them.

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Choosing a Dissertation Advisor

Introduction.

While some graduate groups may assign an advisor to a student upon admission to the program, in many graduate groups the responsibility for finding a dissertation advisor rests with the student. The choice of a faculty member who will supervise the dissertation work required to fulfill degree requirements is one of the most critical decisions a graduate student will make. A student will spend several years working with the faculty member of choice, and that choice will significantly affect the direction of the student’s career. Choosing a dissertation advisor, therefore, is an extremely important decision for doctoral students, although it is not immutable, as will be discussed later.

A student undertaking dissertation work needs an advisor who will be not only academically competent in a particular area but also willing to act as the student’s advocate when necessary. It is important that the student be able to work and communicate effectively with the advisor and not feel overwhelmed or intimidated in the relationship. Dissertation work can be lonely and isolating, and support from an advisor can be a crucial connection.  Each student requires the guidance of someone who will stimulate thought, who has sufficient interest in the student’s topic to produce new insights jointly, and who will challenge the student to think in a novel manner about the research.

Obtaining Information on Potential Advisors

Advisors generally serve as the dissertation supervisor. Students should be familiar with the University rules about who can supervise dissertation research and serve on a dissertation committee.  Several resources and strategies can help students identify an appropriate faculty advisor, as follows.

The graduate group website or handbook is a valuable source of information on potential advisors. Many graduate groups have developed websites that profile affiliated faculty members, including their areas of research, recent publications, and other academic activities. Literature searches can provide further information on the publications and preferred journals of particular faculty members. The graduate group chair can also provide valuable advice on potential advisors and can help students to become familiar with any specific graduate group policies on supervision.

Students can get to know potential advisors by taking a course, doing a lab rotation, acting as a teaching assistant, and/or attending seminars and other presentations by the faculty member.

Graduate students currently working with the potential advisor are an invaluable source of information. Students who are working or have worked with a particular advisor can be asked about their experience with that advisor and about the advisor’s expectations and working methods. Getting to know these students is also useful because anyone choosing to work with a faculty advisor would likely have close, future interactions with their students. Talking to multiple students is always encouraged given the possibly strong and differing opinions one might hear.

Students should make an appointment to meet potential advisors. Meeting a potential advisor is an essential step in determining whether a faculty member would be a good fit in terms of mentoring and interpersonal style and research interested. The following is a list of issues that might be covered in such a meeting: 

• How many graduate students do you advise? (Students may not want to pick a faculty member who has too many students already.)
• Typically, how often do you meet with your students?
• Typically, how much time do you expect students to take to complete their dissertation?
• How will we agree upon my research topic?
• Are there sufficient funds available for the research project?
• What will be the sources of my stipend/funding? What are ways you can provide assistance for finding additional funding if/when my stipend expires?
• What level of independence is expected of your graduate students?
• Is there any specific knowledge I need to have before starting to work with you?
• Will I have the opportunity to attend conferences? Publish papers? Present work at colloquia? Are there funds available for me to do so?
• Are you planning a sabbatical leave soon? If so, what arrangements for continued supervision will be made during your absence?
• What opportunities would I have in this area of research when I graduate?
• How do you typically assist students on the job market?
• Will guidelines be drawn up for working together?
• How will I receive feedback on my progress?

These questions are designed to help the student and the potential advisor determine whether a good match exists. Where appropriate, the student may also want to ask about the order of authorship on publications and intellectual property issues.

For students who are able to pick an advisor, the choice of a dissertation advisor is a decision to be made with a great deal of care and consideration. Discussion of the topics listed above will also give faculty members a sense of what students expect in terms of meetings, feedback, turn-around time on submitted work, etc. Taking time to explore these issues should result in a productive relationship for both student and advisor that culminates in a dissertation of original research, completed within a reasonable period of time.

Changing Advisors

There may be situations in which a student must change advisors. Some situations are beyond the student’s control; for example, when an advisor leaves the University or otherwise becomes unavailable. In other situations, the student may want to choose a different advisor; for example, if the focus of the research project changes to something outside of the current advisor’s expertise, or if work styles do not mesh well.

In these latter situations, students should understand that while there can be risks in changing advisors, it usually can be negotiated in a positive manner. Students deciding to change advisors should be sure to consult the graduate group for any specific policies and procedures that apply and be sure to ascertain if funding may change under a new advisor. Students should always be professional and respectful in interactions with the current advisor and potential new advisor and be certain that the proposed new advisor is willing and able to add them as a new advisee before discussing such a change with the current advisor. Students should focus discussions on interests and goals and not on negative incidents or difficulties. The potential new advisor, as well as leaders or other members of the graduate group, may have advice regarding how to broach this change with the current advisor.

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Things to look for in a thesis adviser

On the scale of human interactions, the relationship between a graduate student and his or her thesis adviser ( a.k.a. major professor) lies somewhere between that of roommates locked into a long-term lease and a marriage. Finding a good match among the faculty typically is the single most important determinant of the quality of a graduate-school experience. It is therefore critical that entering students get to work early and diligently to learn all they can not only about potential mentors and their research programs but about themselves. Ask the following questions:

•  Is this potential adviser someone you respect, someone you would like to model yourself after?  
•  Where are the potential adviser’s former students? Do they tend to transition to the types of postgraduate and professional opportunities that appeal to you?  
• What kinds of skills are you likely to develop in this lab?  
•  Do students from this lab get their work published in quality journals?  
• What is the lab group like? Are they hard-working and enthusiastic? Do they get along with one another?  
•  What do you need from a mentor? What are your strengths and weaknesses?  
•  Are you likely to respond well to this person’s particular training and managerial style?  

Notice that the list does not ask questions about the potential adviser’s area of research. The biggest mistake a student can make in selecting a major professor is ignoring the signs of a potentially poor match because he or she is enamored of the faculty member’s area of research. A research project is a tool, a vehicle for transforming curious and committed students into capable, independent research scientists whose skills are translatable and evolving. As long as a student finds a project interesting and challenging, labels matter little in the long run. A student–mentor relationship based on mutual respect, good communication and shared expectations offers a richness and depth that will animate your entire career.

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Peter Kennelly is a professor of biochemistry at the Virginia Polytechnic Institute and State University.

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As a new PhD student, you will be assigned a supervisor, who is responsible for guiding your studies. You are, however, expected to have the capacity and enthusiasm to organise your own research and to work on your own initiative. You are expected to submit written work at regular intervals for discussion with your supervisor.

We very much hope you will not have any problems with supervision, but if a problem does arise – because, for example, your supervisor is on leave for an extended period or your research takes a new direction, or for personal reasons – you should contact, in the first instance, any of the following: the Director of Graduate Studies, your advisor, the Head of Department or your College tutor. With any of these, you may wish to discuss whether you want to continue along the more formal lines of complaint proposed by the Student Registry.

By the middle of the first term of your PhD the Degree Committee will appoint an advisor for you. You should be actively engaged in selecting your advisor. You are encouraged to submit written work to your advisor at any time, but the submission should not be so extensive that it would prevent the advisor acting as an internal examiner of your thesis. You should meet your advisor at least once a year.

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Student and Advisor Responsibilities

Responsibility

A thesis is required for all programs leading to a Plan A master’s degree, and a dissertation is required for the doctor of philosophy degree. This manual was written by the Graduate School to help you and your committee members to prepare theses and dissertations. Its purpose is to define uniform format standards. The word “thesis” refers to both the thesis and the dissertation unless otherwise noted.

Advisor’s Responsibility

Your advisor serves as a mentor both while you are doing the thesis work and while the results of that work are prepared for the thesis. Although you have primary responsibility for the content, quality, and format of the thesis, the advisor and the Graduate Advisory Committee must be consulted frequently. They approve the final document before it is submitted to the Graduate School. Advisors are particularly asked to insure that the abstract summarizes clearly and concisely the major points of the thesis.

Student’s Responsibility

Your are responsible for making all arrangements for the preparation and submission of the thesis as well as any additional copies required by the department. you should also consider the following:

1. Consult a style manual approved by your department for correct format for quotations, footnotes, and bibliographical items. 2. Refer to the Graduate School Thesis and Dissertation Formatting Guide for guidelines regarding correct format for thesis presentation (including illustrative materials). 3. Edit draft for correct sentence structure, grammar, paragraphing, punctuation, and spelling. 4. Prepare tables in the form in which they are to be printed. 5. Furnish numbering and legends for all tables and illustrative materials. 6. Proofread final copy and check to see that corrections are made accurately. 7. Present a copy to the Graduate Advisory Committee for their review. 8. Submit the final committee approved version electronically.

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What does a Dissertation Advisor, Dissertation Chair, or Thesis Advisor do?

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Advising and Mentoring

Some of the most important teaching we do happens outside the classroom, in one-on-one and small group advising. How can we do this well?

The kinds of mentoring relationships that develop in the context of research universities like Harvard—particularly those between graduate students and their advisors—can be complicated as well as rewarding, and require care and attention. They are, in certain key aspects, unlike almost any of the other relationships we experience as we move through life. From the ambiguity around what "reciprocity" means in a mentoring scenario, to the great variety of contexts in which academic mentoring actually happens, these relationships require special care and attention. There are at least five things that effective mentors can do to give their students the support they need.

• Advising Senior Theses

Every thesis writer and thesis project is unique, and arguably the single most important thing that you can do as a thesis adviser is to get to know your student well and to be supportive and attentive as they work towards their spring deadline. Regardless of the precise structure and obligations surrounding your position as an adviser, there are a number of things which you can do to help just about any student have a meaningful, and successful, experience with the senior thesis.

• Writing Letters of Recommendation

Writing letters of recommendation is a skill that will be of great importance throughout your teaching career, and should be viewed as an almost integral part of your teaching experience. Students in your sections or tutorials who have had a positive experience—in terms of what they have learned, or the work they have produced—are likely to come to you for a letter of recommendation. Indeed, an abundance of requests can be taken as an indication that you are a good teacher and have an ability to establish a rapport with your students. While there is no single "recipe" for producing effective letters, there are some general principles and practices which you can employ to give your students their best shot at success.

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Definition of adviser

Did you know.

What's the difference between adviser and advisor ?

Adviser or advisor ? It doesn't matter what your computer's spellcheck tells you, adviser and advisor are both correct. Although there is enough overlap between these two words that they are generally considered simply to be different ways to spell the same word, there are some cases in which one tends to be used more often than the other. Some people feel that advisor is more formal, and it tends to be found more often when applied to official positions, such as an advisor to a president. When referring to someone who is serving in a military role, especially when using the term as a euphemism (as when claiming that troops are actually military advisers), then adviser is somewhat more common.

• consigliere
• counsellor

Examples of adviser in a Sentence

These examples are programmatically compiled from various online sources to illustrate current usage of the word 'adviser.' Any opinions expressed in the examples do not represent those of Merriam-Webster or its editors. Send us feedback about these examples.

Word History

advise + -er entry 2 , -or entry 1

circa 1536, in the meaning defined above

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Cite this Entry

“Adviser.” Merriam-Webster.com Dictionary , Merriam-Webster, https://www.merriam-webster.com/dictionary/adviser. Accessed 23 May. 2024.

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RELATIONSHIP BUILDING AND MEANING MAKING: AN EXPLORATORY STUDY

Add to collection, downloadable content.

• Affiliation: School of Medicine, Department of Allied Health Sciences, Division of Occupational Science and Occupational Therapy
• The ways that children who live in complex bodies and communicate exclusively through non-symbolic means build relationships and make meaning in occupation is under researched. Occupational science offers exciting potential to explore, expand, and contribute to this topic. The purpose of this single-family case study was to explore how a young child with acquired, complex support needs who communicated exclusively through non-symbolic means, Savannah, built relationships and made meaning through occupation and co-occupation. The transactional perspective (Dickie et al., 2006) and the theory of sense-making and participatory sense-making (De Jaegher & Di Paolo, 2007) were used to theoretically ground this study. Constructivist grounded theory (Charmaz, 2014) was used to shape the multi-modal data collection. Data analysis was iterative, interactive, and reflective. Three themes became salient: persisting, reassuring, and cherishing. Five scenes from both participant and video observations exemplify the entanglement of the themes. Each scene was also grounded in theory. By using multi-modal data collection (Erickson, 2009; Lynch & Stanley, 2018; Sparrman, 2005) and constructivist grounded theory (Charmaz, 2014), this study led to productive theorizing about how Savannah and her parents built relationship and made meaning in occupation across environments and ultimately engaged in doing together through co-occupation. Implications for further research, the importance of theorizing and multi-modal methods of data collection are also discussed.
• Occupational therapy
• Occupational Science
• Transactional Perspective
• Children with Complex Needs
• Participatory Sense-making
• Constructivist Ground Theory
• https://doi.org/10.17615/49jb-e037
• Dissertation
• In Copyright - Educational Use Permitted
• Bagatell, Nancy
• Erickson, Karen A.
• Bailliard, Antoine
• Johnson, Khalilah
• D'Ardenne, Charna
• Doctor of Philosophy
• University of North Carolina at Chapel Hill Graduate School

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Summer 2024 Courses

Class Search Catalog available at  classes.osu.edu

POLITSC 1300 Global Politics

Summer Term | 3 credit units | Distance Learning

Cooperation and conflict in world politics. Covers basic theories of international relations and key issues, including security, political economy, international organizations, and the environment. Prereq: Not open to students with credit for 145 or 145H. GE soc sci human, nat, and econ resources and diversity global studies course. GE foundation social and behavioral sci course.

POLITSC 2300 American Foreign Policy

Session 2 | 3 credit units | Distance Learning

The role of the United States in world politics since the Second World War, emphasizing structural change in economic and political-military relations. Prereq: Not open to students with credit for 245 or 245H. GE soc sci orgs and polities and diversity global studies course. GE foundation social and behavioral sci course.

POLITSC 3240 Political Violence

Session 2 | 3 credit units | In person

This course will expose students to major theoretical debates and broad empirical patterns of intrastate conflict during the post-World War II era.

POLITSC 3798 Field Research Methods for Politics & Development in Africa: Education Abroad in Malawi

Summer term | 3 credit units | In Person

Introduction to the tools of data analysis in political science, with an emphasis on data visualization. GE data anly course. GE foundation math and quant reasoning or data anyl course.

POLITSC 3910 Identity Politics

Session 2 | 3 credit units | In Person

Explores who controls the meaning of identity in society; examining identity from the perspective of liberal, sociological, and social psychological, structuralist, and institutionalist theories. Prereq: Not open to students with credit for 547.

POLITSC 4131 American Supreme Court

This course focuses on the U.S. Supreme Court as an institution and emphasizes the ways in which its formal and informal norms and structures shape the nature and content of the law the Court makes.

POLITSC 4191 Internship

Session 2 | 0-10 credit units | Distance Learning

Combines experience in political institutions or policy processes with analysis of that experience in light of relevant scholarly literature. Prereq: Permission of instructor. Repeatable to a maximum of 10 cr hrs or 3 completions.

POLITSC 4310 Security Policy

Session 1 | 3 credit units | In Person

National security and military policy issues and trends since 1945; covers containment, deterrence, Vietnam, nuclear weapons, terrorism, and globalization. Prereq: Not open to students with credit for 552.

POLITSC 4998 Undergraduate Research in Political Science

Summer Term | 0-10 credit units | In Person

Undergraduate research in variable topics. Prereq: Permission of instructor. Repeatable to a maximum of 10 cr hrs or 10 completions. This course is graded S/U.

POLITSC 4999H Honors Thesis Research

Summer Term or Session 2 | 2-4 credit units | In Person

Honors thesis research with thesis adviser. Minimum of two semesters required of candidates for BA with distinction in political science. Prereq: Honors standing, and Sr standing, and enrollment in Political Science major, and permission of instructor. Repeatable to a maximum of 12 cr hrs or 4 completions. This course is graded S/U.

Current as of 5/10/2024

Financial Advisor Disclosures and What They Mean for You

Check your financial advisor's disclosures for updates annually or during a significant change in your financial situation.

What Are Financial Advisor Disclosures?

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Reviewing your advisor's disclosures shouldn't be a one-time event. Make a habit of checking for updates annually or whenever you experience a significant change in your financial situation.

Advisor's Corner

Advisor's Corner is a collection of columns written by certified financial planners, financial advisors and experts for everyday investors like you.

Choosing a financial advisor goes beyond finding someone to manage your investments. It's about ensuring that they operate with transparency and with your best interests in mind. This requires diving into the advisor's background and understanding their business practices, which are often hidden within complex and jargon-filled disclosure documents.

In this article, we'll clarify these critical disclosures so you can make informed decisions about who manages your finances. By the end, you'll not only understand these documents better, but you'll also be able to choose an advisor whose practices align with your financial goals, safeguarding your financial future.

• What do financial advisors disclose?
• Disclosed fees and negotiability.
• How to read and interpret disclosure documents.
• How to find financial advisor disclosure documents.
• Staying informed with financial disclosures.

What Do Financial Advisors Disclose?

When you begin working with a financial advisor, they'll present you with several important documents. Primarily, the disclosures come through two key documents: Form ADV and Form CRS. Here's an overview of what you might expect to get:

• Form ADV: A form with information about the firm, such as services, fees, disciplinary history and conflicts of interest.
• Form CRS: A client relationship summary of the information in Form ADV.
• Form U4: A document with similar information to Form ADV and criminal and civil judicial records.
• Privacy policy: A document that describes how the firm will use your personal information.

Note that Form ADV has two parts. "Part 1 focuses on the advisor's business and regulatory history, while Part 2 serves as a narrative brochure outlining services, fees and strategies, as well as potential conflicts of interest," says Dennis Shirshikov, a finance professor at the City University of New York.

The Securities and Exchange Commission (SEC) didn't require advisors to provide Form CRS until 2020. It contains some of the same information as Form ADV but is limited to just two pages. It outlines the advisor's services, fees, compensation and disciplinary actions.

Like Form ADV, the CRS "is required to be delivered prior to or at the time of signing an investment advisory agreement," says Mario Chilin, chief compliance officer and partner at EP Wealth Advisors.

Broker-dealers and investment advisors use Form U4. It discloses information such as criminal charges and misdemeanors, bankruptcies and judgments. Depending on your chosen advisor, you may not be given this disclosure.

You should also receive a copy of the firm's privacy policy and a revised copy if any amendments are made.

"Every investor and institutions of all sizes continue to (be vulnerable) to fraud, both cyber and human," Chilin says. "It's important to understand how your private identifiable information is handled and the extent that it is safeguarded."

Disclosed Fees and Negotiability

Before signing on as a client, ensure that you have an itemized list of all costs, fees and commissions that the advisor charges. You'll see the advisor's fee structure in Form ADV Part 2, but it's not set in stone.

"Fees can often be negotiable, depending on the advisor's policies and the complexity of services required," says Shirshikov. There's often room for flexibility, "such as lower AUM fees for larger investment accounts or combining different services for a bundled rate."

How to Read and Interpret Disclosure Documents

Decoding disclosure documents starts by identifying the most critical sections of each form. For Form ADV Part 2, focus on services provided, fee structures and any disclosures of conflicts of interest. Then review the services, fees, conflicts and the firm's disciplinary history on Form CRS.

"The fees section is critical, as it directly affects investment returns," says Shirshikov. Look for how fees are structured, such as the percentage of assets managed, hourly rates or fixed costs.

He adds that complex financial jargon can be confusing, especially about fees or potential conflicts of interest. "Investors should be wary of terms like 'may' or 'might,' which indicate potential additional costs or risks not immediately apparent."

You should also "pay special attention to the 'disciplinary information' section for potential red flags ," says Jonathan Feniak, general counsel at LLC Attorney.

He says clients often overlook conflict of interest disclosures, too. "Remember, seemingly innocuous phrases such as 'may have a perceived conflict' can indicate real issues that need clarification," Feniak warns.

How to Find Financial Advisor Disclosure Documents

You typically receive Form ADV Part 2 and Form CRS directly from your financial advisor. However, if you haven't received these documents or if you prefer to do some independent research, finding these documents online is straightforward. Here's how:

• Investment Adviser Public Disclosure (IAPD): The IAPD provides information about registered investment advisors and their firms, including Form ADV. You can search by name or registration number for detailed information about an advisor's qualifications, business practices and affiliations.
• BrokerCheck by FINRA: BrokerCheck is a free tool for researching the backgrounds and experiences of financial brokers, advisors and firms. It gives you access to Form U4, which lists the advisor's professional background and any disciplinary actions.
• SEC's EDGAR database: EDGAR provides filings, registration statements, and periodic reports for advisors and firms registered with the SEC. It's particularly useful for reviewing financial statements and disclosures.
• Advisor websites: Financial advisors often provide disclosure documents directly on their websites. Look for sections titled "Compliance," "Legal" or "Disclosure" to find these documents.

Keep in mind that large advisory firms can have forms that are hundreds of pages long. While pages of fines and court cases are common with the industry's biggest firms, a small-time advisor with a litany of conflicts and rulings against it is cause for concern.

"At a minimum, an investor should review the firm's Form ADV Part 2A and Part 2B with the advisor with whom they'll work and research them on the IAPD website," Chilin says. "A quick Google search is always a good final check."

Staying Informed with Financial Disclosures

Reviewing your advisor's disclosures shouldn't be a one-time event. Make a habit of checking for updates annually or whenever you experience a significant change in your financial situation. Regularly reviewing and "understanding these documents ensures that clients are fully aware of what to expect from their financial advisor relationship," says Shirshikov.

How to Become a Financial Advisor

Marguerita Cheng May 6, 2024

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U.S. News makes no representations or warranties in connection with the information provided herein, nor to the accuracy or applicability thereof. U.S. News does not give, offer, or render tax, credit, or legal advice. Before making financial or investment decisions, U.S. News recommends that you contact an investment advisor, or tax or legal professional.

Tags: investing , money , financial advisors , financial regulation , personal finance , brokers , Advisor's Corner

The Most Important Ages for Retirement Planning

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